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FINRA Provides Guidance on E-Bill Final Statements

FINRA provided guidance to help firms review and reconcile their 2020 final statements made available in E-Bill. Firms can view reports in connection with the annual registration renewal process in the E-Bill system. If a firm's final statement reflects an amount due as of December 31, 2020, the payment deadline is January 22, 2021.

Primary Sources

  1. FINRA Notice 21-01: Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches

Tags

Regulated Activities
Registration Process Regulatory Fees
Sub-Activity
FINRA Membership Process
Regulated Entities
Broker-Dealers
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
FINRA